0 1, the importance of anti-money laundering is greatly enhanced.
The second chapter of the Outline of Securities Market Laws and Regulations, Management Standards of Securities Operating Institutions, has been increased from four sections in 20 18 to six sections, and two new sections, namely, anti-money laundering work of securities companies and information technology management of securities companies, have been added.
The anti-money laundering work, which was originally listed as the first section of this chapter, became a self-contained section in the 2008 Outline. This also highlights the association's emphasis on anti-money laundering work and may become the focus of the 1 1 exam.
02. A new chapter in information technology management of securities companies.
In the newly revised examination syllabus, in addition to "anti-money laundering", a chapter "Information Technology Management of Securities Companies" has been added, which shows that the securities industry attaches more importance to financial technology than before.
This section requires understanding the general provisions of securities companies engaging in securities fund business activities by using information technology; Master the information technology compliance and risk management of securities companies; Understand the regulatory requirements and measures of information technology management of securities companies. For a booming thing, it is very important to understand and implement perfect management methods.
20 18 12 19, The Measures for Information Technology Management of Securities Fund Operating Institutions issued by China Securities Regulatory Commission is to guide securities operating institutions to make full use of modern information technology and improve customer service system, business operation mode, internal management level and compliance risk control ability. It directly emphasizes the importance of information technology from the perspective of supervision.
03. "Total risk management" is more specific.
In the same chapter, the content of "total risk management" has become more abundant. The previous chapter only requires five contents: definition, relevant contents, responsible subject and measures that securities associations can take to implement self-discipline management. Now, in the newly revised version, it is also required to "understand the requirements of the comprehensive risk management culture of securities companies" and "understand the performance guarantee of the chief risk control officer and risk management department".
Due to the rapid changes in the capital market, there have been many risk events in securities companies since last year, so the importance of risk management has become increasingly significant.
04. The content of "scientific and technological innovation board" has been added to the economic business norms.
Since the national leaders announced the addition of science and technology innovation boards in June165438+1October last year, the capital market ecology is undergoing tremendous changes. In this revision, the content of science and technology innovation board has also become a new focus.
In the third chapter of laws and regulations, the module of "brokerage business and asset management business" has been adjusted emphatically. That is to say, the content of the science and technology innovation board has been added to the securities business specification part, which requires mastering the requirements of the positioning of the science and technology innovation board and the appropriate management of investors.
Understand the trading mechanism reform measures introduced by Shanghai Stock Exchange on the science and technology innovation board; Master the definition of depository receipts, the responsibilities of depository institutions and custodians, and the investor protection mechanism. As a new battlefield of securities business, it is an inevitable requirement for securities practitioners to understand the new rules of science and technology innovation board.
05. The asset management business norms were supplemented and revised.
Under the current trend of "de-channelization", brokers actively promote the transformation of asset management based on the advantages of investment and research, and provide active management brokers, which have developed well in recent years.
This year's examination syllabus also conforms to this development trend, and some contents have been changed and supplemented in the asset management business norms.
This year's syllabus not only added some knowledge points such as "understanding the special regulatory requirements of private equity management business" and "mastering the rights and obligations of investors in asset management business", but also revised it on the basis of last year's syllabus according to the situation this year.